Michael J. Keane
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael J Keane was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2009. Michael had worked at 2 firms and has passed the Series 7TO, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2011 - October 7, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
February 20, 2009 - June 9, 2021
M&T SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/27/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/27/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 3/27/2024
Operations Professional ExaminationCurrent Firm
WILMINGTON BROKERAGE SERVICES COMPANY
CRD#: 14942 / SEC#: , 8-31441
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
Red Flags
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